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Brokers, Dealers and Salespersons | Midpage
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New York Codes, Rules and Regulations
Title 13
Chapter II
Subchapter A. Securities—General
Part 10
Brokers, Dealers and Salespersons
Department of Law
10.1
Registration of securities broker-dealers, issuers, and salespersons; effective date.
10.2
Central registration for FINRA member broker-dealers and salespersons of FINRA members.
10.3
Supplemental broker-dealer statements for non-FINRA members.
10.4
Supplemental salesperson's statement for salespersons employed by a non-FINRA member firm.
10.5
Fee for supplemental statements.
10.6
Alternative method of filing supplemental salesperson's and broker-dealer statements and fees attendant thereto.
10.7
Annual renewal for FINRA member broker-dealers.
10.8
Filing fees.
10.9
Filing time limit.
10.10
Definitions.
10.11
Alternative method of filing for certain dealers.